Richard J. Turgeon

WELLSPRING FINANCIAL ADVISORS

CLEVELAND, OH 44125

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CRD#: 2309831

Professional summary

Richard Joseph Turgeon, CFA is a registered financial advisor currently at WELLSPRING FINANCIAL ADVISORS, LLC located in Cleveland, Ohio.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Richard has worked at 2 firms and has passed the Series 63 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Joseph Turgeon's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFA

Chartered Financial Analyst

Experience

Current

January 3, 2018 - Present

WELLSPRING FINANCIAL ADVISORS, LLC

Office #1: 5900 Landerbrook Drive Suite 100, Cleveland, OH 44125

RIA

CRD#: 143112

CLEVELAND, OH

Past

June 15, 1994 - August 30, 1994

ALPS DISTRIBUTORS, INC.

CRD#: 16853

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

WELLSPRING FINANCIAL ADVISORS, LLC

WELL SPRING FINANCIAL, LLC | WELLSPRING FINANCIAL ADVISORS, LLC

CRD#: 143112 / SEC#: 801-67630

RIA

Registered Investment Advisory firm - (3/15/2007 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Ohio
(1/3/2018)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 4/5/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 3/24/1994

Investment Company Products/Variable Contracts Representative Examination

Current Firm

WELLSPRING FINANCIAL ADVISORS, LLC

WELL SPRING FINANCIAL, LLC | WELLSPRING FINANCIAL ADVISORS, LLC

CRD#: 143112 / SEC#: 801-67630

RIA

Registered Investment Advisory firm - (3/15/2007 Approved)

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Contact information

Main Address

5900 Landerbrook Drive Suite 100, Cleveland, OH 44125

Mailing Address

Phone number

(216) 367-0680

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WELLSPRING ADV BROCHURE (3/21/2025)

Regulatory assets under management

Total Number of Accounts	1,551
AUM (Assets Under Management)	$ 4,211,250,698

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/24/2025	Cover Page	Report
01/28/2025	Cover Page	Report
11/28/2023	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Richard J. Turgeon

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Joseph Turgeon's CRS (Customer Relationship Summary).

Certified licenses

Experience

WELLSPRING FINANCIAL ADVISORS, LLC

ALPS DISTRIBUTORS, INC.

Primary Firm SEC Registration

WELLSPRING FINANCIAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 4/5/1994

Series 6

Date: 3/24/1994

Current Firm

WELLSPRING FINANCIAL ADVISORS, LLC

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

WELLSPRING FINANCIAL ADVISORS, LLC

TRUST BUT VERIFY

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